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BROADWIND, INC. — Director's Dealing 2011
Sep 21, 2011
34590_dirs_2011-09-21_ccc65f90-6b46-47bc-96f7-17b2a12e37c3.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2011-09-16
Reporting Person: MARXE AUSTIN W & GREENHOUSE DAVID M (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 30353455 | Indirect |
Footnotes
F1: This is a joint filing by Austin W. Marxe (Marxe) and David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (Cayman), Special Situations Technology Fund, L.P. (Tech) and Special Situations Technology Fund II, L.P. (Tech 2). 16,190,233 shares of Common Stock are held by QP, 5,396,222 shares of Common Stock are held by Cayman, 1,227,000 shares of Common Stock are held by Tech and 7,540,000 shares of Common Stock are held by Tech 2. The interest of Marxe and Greenhouse in the shares of Common Stock owned by QP, Cayman, Tech and Tech 2 is limited to the extent of his pecuniary interest.